Articles mentioning both Compliance and Board of directors -BoardProspects

Articles mentioning both Compliance and Board of directors

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1. Proofpoint Elects Elizabeth Rafael to its Board of Directors
  
  Explore GlobeNewswire Mar 1 2021 BoardMoves
  
  ...--Proofpoint, Inc.,(NASDAQ: PFPT), a leading next-generation cybersecurity and compliance company, today announced its Board of Directors has elected Elizabeth ("Betsy") Rafael as a new independent director... ...
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  Mentions: Independent Director Nasdaq Proofpoint
2. Changes Are Coming to Financial Regulation. What It Means for Investors.
  
  Explore Financial Investment News Feb 4 2021 BoardBlogs
  
  ...e the voice of shareholders,” says Amy Borrus, executive director of the Council of Institutional Investors. “Shareholders large and small are looking to the SEC to step up its mission to be the investor’s advocate,” she...
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  Mentions: Management blockchain Bitcoin
3. Eagle Bancorp Resolves Corporate Governance Dispute with Investors
  
  Explore American Banker Jan 27 2021 BoardNews
  
  ...art of a settlement with certain shareholders. The $10.1 billion-assetcompanydisclosed in a regulatory filing Monday that it will also enhance its infrastructure, along with its risk and compliance controls... ...
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  Mentions: Eagle Bancorp Risk Corporate Governance
4. Glacier Bancorp, Inc. Appoints Board Members
  
  Explore GlobeNewswire Jan 3 2021 BoardMoves
  
  ...ommittees... KALISPELL, Mont., Oct. 06, 2020 (GLOBE NEWSWIRE) -- Today Glacier Bancorp, Inc.’s (NASDAQ: GBCI) Board of Directors and its wholly owned subsidiary Glacier Bank announced the appointment of Robert A. Cashell...
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  Mentions: Governance Committee acquisition Nasdaq
5. SEC Approves Scaled-Back Disclosure Rule for Energy, Mining Companies
  
  Explore wsj.com Dec 16 2020 BoardNews
  
  ...c Commissioners saying the latest iteration of the rule was too weak. Republican commissioners, including SEC Chairman Jay Clayton, expressed skepticism over Dodd-Frank provision and whether the SEC was best-positioned t...
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  Mentions: Dodd-Frank Risk U.S. securities
6. Preparing for the 2021 Public Company Reporting Season
  
  Explore Legal News, Lawyers, Law Firms Dec 9 2020 BoardBlogs
  
  ...ate their holdings for the purpose of meeting the shareholder threshold. Starting with the 2022 proxy season, shareholders must satisfy one of three alternative tests: The new requirement will have a transition period. F...
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  Mentions: Management Term Limits Annual Meeting
7. SEC Makes 2020 A Record Year for Whistleblowers. What Does It Mean for Compliance?
  
  Explore Legal News, Lawyers, Law Firms Nov 5 2020 BoardBlogs
  
  ...should be shared with senior leadership and the board of directors as (yet another) reason for supporting the compliance function with the resources and autonomy regulators say it requires. Of course, it is possible that...
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  Mentions: Benchmark Whistleblower U.S. Supreme Court
8. Highlights from SEC Speaks 2020
  
  Explore National Law Review Oct 13 2020 BoardNews
  
  ...o a record 39 whistleblowers. Chairman Clayton praised several internal SEC divisions including the Office of Compliance Inspections and Examinations (“OCIE”), which examined over 15% of Registered Investment Advisers (R...
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  Mentions: Conference Investment Management
9. AllianceBernstein Announces Appointments of Bertram Scott and Nella Domenici to its Board of Directors
  
  Explore gurufocus.com Sep 23 2020 BoardMoves
  
  ...and the Monitor Consulting Group. She serves on the board of Change Healthcare, where she is on the Audit and Compliance Committee. AllianceBernstein is a leading global investment management firm that offers high-qualit...
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  Mentions: Investment Credit Suisse AllianceBernstein
10. LaSalle Vaughn, Compliance Executive at Robinhood Markets, Joins PerformLine Board of Directors
  
  Explore Press Release Distribution Sep 16 2020 BoardMoves
  
  ...PerformLine, the leading provider of automated compliance technology, today announced the addition of LaSalle Vaughn to its board of directors... ...
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  Mentions: technology Board Compliance
11. Why the Board of Directors Need an Investigation Protocol
  
  Explore Legal News, Lawyers, Law Firms Aug 14 2020 BoardBlogs
  
  ...rts. In any investigation, there will be the need for a wider variety of subject matter experts (SMEs) than a compliance professional. If there are accounting issues, forensic accountants might be needed. In this day and...
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  Mentions: lawsuit stock options Whistleblower
12. 31 Days to a More Effective Compliance Program - Board Governance and Risk Oversight
  
  Explore Legal News, Lawyers, Law Firms Aug 13 2020 BoardBlogs
  
  ...One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice Presiden...
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  Mentions: Board Governance Risk Board
13. 31 Days to a More Effective Compliance Program - The Board of Directors as an Internal Control
  
  Explore Legal News, Lawyers, Law Firms Aug 11 2020 BoardBlogs
  
  ...ernal control but the more I thought about it, the more I realized it was an important insight for any Chief Compliance Officer or compliance practitioner as it also applies as a compliance internal control... ...
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  Mentions: Audit Committee Board James Doty
14. 31 Days to a More Effective Compliance Program - Inquiring Up and Down
  
  Explore Legal News, Lawyers, Law Firms Aug 10 2020 BoardBlogs
  
  ...and most private U.S. companies, it is at the Board of Directors. But what is the role of a companys Board in compliance? First a Board should not engage in management but should engage in oversight of a CEO and senior m...
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  Mentions: Management Risk Companies
15. 5 Steps for Building Better Board Engagement
  
  Explore Legal News, Lawyers, Law Firms Aug 7 2020 BoardBlogs
  
  ...ed its 2020 Definitive Risk Compliance Benchmark Report, an in-depth analysis of the latest industry trends and best practices, based on the survey responses of over 1,400 risk and compliance professionals... ...
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  Mentions: Benchmark AMP Risk
16. Board of Directors: The Importance of Good Corporate Governance in Family Run Businesses
  
  Explore The Economic Times Aug 1 2020 BoardBlogs
  
  ...uch as the composition and role of the Board of directors , decision making process, oversight of management, compliance and compensation practices.Good governance practices and management accountability are easier to es...
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  Mentions: Management CFO stock options
17. Tracy A. Atkinson Elected to US Steel Board of Directors
  
  Explore businesswire.com Jul 27 2020 BoardMoves
  
  ...d States Steel Corporation (NYSE: X) today announced that Tracy A. Atkinson has been elected to the company's Board of Directors. Ms. Atkinson retired from State Street Corporation in March 2020 after advancing through a...
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  Mentions: Investment Management State Street
18. Regulatory Update and Recent SEC Actions - July 2020
  
  Explore Legal News, Lawyers, Law Firms Jul 24 2020 BoardNews
  
  ...Office of Compliance Inspections and Examinations (“OCIE”) issued two risk alerts: Examinations that Focus on Compliance with Regulation Best Interest (“Reg BI”) and Examinations that Focus on Compliance with Form CRS. R...
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  Mentions: Board of Trustees Investment Management
19. Top 3 Corporate Governance Issues For Fall Board Meetings
  
  Explore Law360 Jul 15 2020 BoardBlogs
  
  ... fourth time during the Trump administration.[8] None of these revisions adds much to existing governance and compliance wisdom.However, the DOJ's latest tweaks do identify three concepts that previous guidance included ...
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  Mentions: Ethics Delaware DOJ
20. The Role of The Board of Directors During Crisis
  
  Explore forbes.com Jun 3 2020 BoardBlogs
  
  ...l 50 Executive, now a board advisor and executive coach for Fortune 500 companies. A leadership columnist for Compliance Week, she guest lectures at UC Berkeley on corporate governance and ethics and creating healthy wor...
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  Mentions: Management Independent Director Governance Committee
21. Board Oversight of Corporate Ethics and Compliance Programs
  
  Explore Legal News, Lawyers, Law Firms Apr 17 2020 BoardBlogs
  
  ...Have the board of directors and/or external auditors held executive or private sessions with the compliance and control functions? What types of... JD Supra is a legal publishing service that connects experts a...
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  Mentions: Ethics Twitter LinkedIn
22. The Impact Of The Coronavirus Crisis On Mergers And Acquisitions
  
  Explore forbes.com Apr 17 2020 BoardBlogs
  
  ... Privately Held Companies: Analysis, Forms and Agreements,” published by Bloomberg Law. He is a member of the Board of Directors of the Giffords Law Center to Prevent Gun Violence, and has served on additional educationa...
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  Mentions: Mergers and Acquisitions Investment Delaware
23. Avalara Appoints Brian Sharples to its Board of Directors
  
  Explore oleantimesherald.com Mar 30 2020 BoardMoves
  
  ...AVLR), a leading provider of tax compliance automation software for businesses of all sizes, today announced the appointment of global business leader and strategist Brian Sharples to its board of directors... ...
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  Mentions: NYSE Avalara Avalara, Inc.
24. Ambri Appoints Board Director
  
  Explore businesswire.com Mar 11 2020 BoardMoves
  
  ...Lou is a member of the Ohio State University Board of Trustees where he serves on three committees: Audit and Compliance, Finance, and the Talent and Compensation Committee. He also serves as a trustee of the Kansas Stat...
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  Mentions: Board of Trustees AMP General Dynamics
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